Regulatory Compliance Executive – AML & Financial Crime

STRAITS FINANCIAL SERVICES PTE. LTD.; Singapore; On-site; SGD 70,000 - 110,000; Full time

Job summary

STRAITS FINANCIAL SERVICES PTE. LTD. is seeking a Compliance Executive to support second-line governance on financial crime and regulatory compliance with a focus on SFA/FAA obligations for the Singapore market.

You will collaborate with multiple departments to implement controls, monitor regulatory risks, and coordinate with regulators to ensure timely responses, while ensuring adherence to internal policies in a fast-paced brokerage environment.

Qualifications

• Degree in Business, Accounting, Finance or equivalent.
• 3+ years in financial/brokerage industry.
• Experience with SFA/FAA and exchange regulations.
• Familiarity with regulatory reporting and surveillance.
• Strong writing and communication skills.

Responsibilities

• Manage regulatory compliance across local entities within the Group.
• Research new regulatory requirements and propose implementation actions.
• Review annual compliance calendars and programs.
• Perform compliance reviews and address non-compliance with realistic remediation plans.
• Coordinate with counterparties on regulatory requests and ensure prompt follow-up.
• Carry out fund movement surveillance.
• Review advertising and marketing materials.
• Provide guidance on compliance policies and procedures.

Skills

Regulatory compliance

Financial crime prevention

SFA/FAA knowledge

Regulatory liaison

Adaptability

Education

Bachelor's Degree in Business/Finance/Accounting

Job description

STRAITS FINANCIAL SERVICES PTE. LTD. is seeking a Compliance Executive to support second-line governance on financial crime and regulatory compliance with a focus on SFA/FAA obligations for the Singapore market.

You will collaborate with multiple departments to implement controls, monitor regulatory risks, and coordinate with regulators to ensure timely responses, while ensuring adherence to internal policies in a fast-paced brokerage environment.